RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
G•••••••• A• W•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 26, 2019 · Springfield, Ma
- W•••• F•••• A••••••• wirehouseJul 11, 2018 to Nov 5, 2019 · Glastonbury, Ct
- M• H••••••• S••••••••• I••• BD affiliatedSep 27, 2010 to Jul 13, 2018 · West Hartford, Ct
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 2008 to Nov 25, 2009 · Hartford, Ct
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 5, 2019, registered Nov 26, 2019 (21 days) · Wirehouse to wirehouse
- M• H••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jul 13, 2018, registered Jul 11, 2018 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to M• H••••••• S••••••••• I•••left Nov 25, 2009, registered Sep 27, 2010 (306 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address